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2 CONTACT US Document Comments: We value your feedback on this document. Please your comments to For policy-related questions: Please Troubleshooting support: New Help Desk Ticketing System! Log-in with your era Commons username and password to access the era Help Desk web ticketing system to submit a help desk ticket online, view status of your prior tickets, and update your tickets. Access the era Help Desk web ticketing system with your era Commons user name and password. Having trouble logging in? Click here to submit an online request if you are not able to log in or do not have an era Commons account. NIH Staff/Agency Partner Staff, click here to access the era Help Desk web ticketing system. For information, see the flyer on the new Help Desk Ticketing System (PDF KB). Or to contact the era Help Desk directly: Web: (Preferred method of contact) Toll-free: Phone: (for System-to-System support) Hours: Mon-Fri, 7:00 a.m. to 8:00 p.m. Eastern Time, except for Federal Holidays DISCLAIMER STATEMENT No data shown in illustrations represents any real account, project, or individual. Any resemblance to actual accounts, projects, or individuals is purely coincidental. Contact Us/Disclaimer ii July 17, 2015

9 1 Purpose The purpose of this document is to provide those preparing the Research Performance Progress Report (RPPR) with an explanation of the RPPR module in the era Commons and the information required in the report. This document also provides the steps for accessing and completing the report in era Commons, as well as navigating, validating, routing, and submitting the RPPR to the awarding agency. 1.1 NIH The RPPR is required for all annual non-competing (Type 5) NIH awards. Progress reports submitted in any format other than the RPPR will not be processed by the NIH and will require resubmission through the RPPR. Refer to notices NOT-OD , NOT-OD and NOT-OD and NOT-OD for more information. For SBIR/STTR Fast-Track Phase II applications (SBIR/STTR Fast-Track Phase I final progress reports), follow the instructions in the Non-Competing Continuation Progress Report PHS 2590 (http://grants.nih.gov/grants/funding/2590/2590.htm). NIH continues development of the RPPR for the final progress report and for administrative extensions (Type 4s; e.g., SBIR/STTR Fast-Track Phase II applications). NIH will continue to update the community as progress is made. 1.2 Agency for Healthcare Research and Quality (AHRQ) All Agency for Healthcare Research and Quality (AHRQ) grantees, exclusive of recipients of multi-year funded awards, are required to use the era Commons RPPR module, effective January 1, 2015 (NOT-HS ). Multi-year funded awards (awards in which the budget and project periods are the same and are longer than 12 months) are required to submit a paper PHS The RPPR includes numerous references to the NIH Grants Policy Statement, requirement that significant changes in objectives and scope require prior approval of the agency; for AHRQ awardees the analogous requirement is in the HHS Grants Policy Statement under Prior- Approval Requirements. Purpose 1 July 17, 2015

10 2 Background and Paperwork Burden The NIH Research Performance Progress Report (RPPR) implements the uniform reporting format for interim research progress reporting developed under the auspices of the National Science and Technology Council, through the Committee on Science and the Research Business Models Subcommittee, and established by the Office of Management and Budget for use by agencies that support research and research-related activities. For NIH, all progress reports must be submitted using the RPPR. For the AHRQ, all annual progress reports, exclusive of those for multi-year funded awards, must be submitted using the RPPR effective January 1, Other PHS agencies that may eventually utilize the NIH RPPR are the Food and Drug Administration, and Centers for Disease Control and Prevention. Non- NIH agencies may have requirements that differ from those for NIH grantees; refer to the Notice of Award (NoA) or contact the Grants Management Specialist named in the NoA. Progress reports are required to continue support of a PHS grant for each budget year within a competitive segment. The RPPR is not used for submitting a Final Progress Report; instructions for submitting a Final Progress Report are at for NIH and at for AHRQ. PHS estimates that it will take approximately 15 hours to complete this progress report. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. If you have comments regarding the burden estimate or other aspect of the collection of information, including suggestions for reducing the burden, send comments to: NIH, Project Clearance Office, 6705 Rockledge Drive MSC 7974, Bethesda, MD , ATTN: PRA ( ). Do not send progress reports to this address. Background and Paperwork Burden 2 July 17, 2015

11 3 RPPR Due Dates Grantees can determine which progress reports are due through the website located at: and should periodically check the site, which is updated on or around the 30th of each month. Progress report due dates are also available in the era Commons Status system. In addition, automatic notifications are sent to the PD/PI prior to due date. 3.1 NIH SNAP: If an award is issued under the SNAP (Streamlined Noncompeting Award Process) provisions, the progress report is due the 15 th of the month preceding the month in which the budget period ends (e.g., if the budget period ends 11/30, the due date is 10/15). If the 15 th falls on a weekend or Federal holiday, the due date is automatically extended to the next business day. Grantees should consult the NoA to determine when SNAP procedures apply. Non-SNAP: If an award is not issued under the SNAP provisions, the progress report is due the first of the month preceding the month in which the budget period ends (e.g., if the budget period ends 11/30, the due date is 10/1). Fellowships: For Fellowships, the progress report is due two months before the beginning date of the next budget period. Occasionally, the Notice of Award (NoA) will indicate a different due date which will supersede these dates. MYF: Progress Reports for MYF awards are due annually on or before the anniversary of the budget/project period start date of the award. The reporting period for a MYF progress report is the calendar year preceding the anniversary date of the award. 3.2 Agency for Healthcare Research and Quality (AHRQ) All AHRQ progress reports due in FY 2015 (10/1/14 9/30/15) and beyond are due 3 months before the anniversary of the award. For example, for an FY2014 award issued with a start date of 2/1/14, the annual progress report is due 11/1/14 (i.e., three months before the FY2015 budget period start date (i.e. anniversary date) of 2/1/15). If the due date falls on a weekend or federal holiday, the due date is automatically extended to the next business day. Please note that AHRQ does not participate in the SNAP (Streamlined Noncompeting Award Process) initiative. AHRQ grantees are to submit detailed budgets for the parent organization and for each consortium involved in the project. RPPR Due Dates 3 July 17, 2015

12 4 Data Entry, PDF Attachments, and Style 4.1 Data or Text Box, and PDF Size Limits Most text entry boxes have an 8,000 character limit (~3 pages); this limit is standardized across federal agencies implementing the RPPR and entry of more than 8,000 characters is prevented by the system. In an effort to reduce grantee burden and encourage concise responses NIH has stated the recommended length of the response for some questions and, for agency-specific questions has limited the length of the response with text boxes with a limit of less than 8,000 characters. AHRQ grantees should follow NIH recommended lengths for text entries. Warning: Text exceeding 8,000 characters is cut to 8,000 when using the cut and paste feature. PDF file uploads (attachments) do not have page limits, but may not be more than 6 megabytes (6MB). PDF attachments are utilized when there may be a need for a grantee to provide considerable detail (e.g., change in human subject protocols that requires a new or revised Protection of Human Subjects section as described in Part II of the competing application instructions). Even when developing PDF responses, grantees are encouraged to be concise and avoid unnecessary detail. 4.2 PDF Attachments Grantees should generate text attachments using any word processing software and then convert those files to PDF before attaching the files to the appropriate section in the progress report. The PDF format is used to preserve document formatting. All PDF attachments must be submitted as individual files. Although some software packages allow bundling of multiple PDFs into a single file, era systems cannot support Bundling or Portfolio features at this time. Use of these features may result in delays in agency acceptance of the progress report. Paginated PDF files are also discouraged since they can interfere with system pagination of the entire RPPR document upon submission to the agency. File names will be used and displayed in the assembled PDF submitted to the agency. Save all files with descriptive file names of 50 characters or less and be sure to only use standard characters in file names: A through Z, a through z, 0 through 9, and underscore (_). Do not use any special characters (example: &, -, *, %, /, and #) or spacing in the file name, and for word separation use an underscore (e.g., My_Attached_File.pdf). Use an Arial, Helvetica, Palatino Linotype, or Georgia typeface, a black font color, and a font size of 11 points or larger. (A Symbol font may be used to insert Greek letters or special characters; the font size requirement still applies.) Type density, including characters and spaces, must be no more than 15 characters per inch. Type may be no more than six lines per inch. Use standard paper size (8 ½" x 11). Use at least one-half inch margins (top, bottom, left, and right) for all pages. No information should appear in the margins, including the PI s name and page numbers. Data Entry, PDF Attachments, and Style 4 July 17, 2015

13 4.3 Style Use English and avoid jargon. Abbreviations and language that may not be known to the broader scientific community should be avoided unless clearly defined. Internet Web site addresses (URLs) should not be used unless provided under C.2. Data Entry, PDF Attachments, and Style 5 July 17, 2015

14 5 Navigation The RPPR is completed using the era Commons system. The report in Commons consists of separate screens for each of the sections listed below: A. Cover Page B. Accomplishments C. Products D. Participants E. Impact F. Changes G. Special Reporting Requirements H. Budget Users may work on various sections in any order, however, it is important to click the Save button in the navigation bar before leaving a screen in order to retain data entered on that screen. Upon submission to the awarding agency, the system will generate a PDF of the progress report, which may be viewed from the RPPR Menu screen using the View button. Once submitted, the final RPPR, in PDF format, is accessible in Commons via the Status Information screen. Refer to the section titled Viewing the Final RPPR in Commons for detailed steps. Note that a link to a site outside the RPPR (e.g., U.S. Select Agency Registry in F.3.d, ClinicalTrials.gov in G.4.c, or the NIH human embryonic stem cell Registry in G.6) opens a site in a new browser window. You must close that window to return to the RPPR. Do not close the browser or use the browser s back button. Figure 1: RPPR Navigation Links from Cover Page Navigation 6 July 17, 2015

15 5.1 Initiate the RPPR Only the PD/PI or the PD/PI delegate may initiate an RPPR. When there are multiple PIs (MPI), only the Contact PI or the PD/PI delegate of the Contact PI may initiate the report. To initiate, the user can choose from one of two ways to access the RPPR functionality: 1. Access RPPR from Status: a. Select the Status tab from the Commons menu options. b. Select the List of Applications/Grants link from the Status screen or from the menu options. Figure 2: Status Screen and List of Applications/Grants Links c. From the Status Result List of Applications/Grants screen, locate the grant and select the RPPR link from the Action column for the specific grant. The RPPR link for the current reporting period is available once the Notice of Award for the prior year has been issued. This link remains available until the RPPR for the current reporting year has been submitted. For multi-year funded awards, the link will display as RPPR Year <X>, the <X> representing the reporting year. The link for a multi-year funded award is available two months prior to the RPPR due date for the current reporting period and remains available until the RPPR is submitted. Note that AHRQ has not yet implemented the RPPR for multi-year funded awards. NOTE: While RPPR Year <X> links for multiple years may appear at the same time in Status, you are prevented from initiating a reporting year s progress report until the progress report(s) of the previous year(s) has been submitted. Navigation 7 July 17, 2015

16 Figure 3: RPPR Link on Status Result List of Applications/Grants Figure 4: Multi-Year Award RPPR Link OR 1. Access RPPR from RPPR tab: a. Select the RPPR tab from the Commons menu options. The Manage RPPR screen displays. Manage RPPR is used to view the progress reports to which the user has access and allows the user to select a progress report in order to perform various actions. PD/PIs or users delegated PD/PI updating authority uses the Manage RPPR screen to view their own progress reports. SOs and AOs use the screen to search for grants from their institutions and/or for grants routed to them for review. b. Select the specific grant by clicking the hyperlink in the Grant Number column on the Manage RPPR screen. Navigation 8 July 17, 2015

17 Figure 5: Manage RPPR List of Grant Applications If an RPPR exists already, Commons displays the report for editing. The RPPR Menu screen displays. The options for the uninitiated report are Initiate and Cancel. Once an RPPR is in progress, the buttons for other options are enabled. These options are discussed later, following the steps for initiation. NOTE: For multi-year funded awards, the following message displays when attempting to initiate an RPPR if the previous year s report has not been submitted: The Multi-Year RPPR for the previous year must be submitted prior to initiating this Multi-Year RPPR. In this case, the option to initiate is disabled. Figure 6: Multi-Year RPPR Error Message The RPPR Menu screen includes the following fields: Grant Number This is the complete number of the grant Grantee Institution This field contains the name of the applicant s institution PD/PI Name The PD/PI of the grant award for which the progress report is being prepared. In the case of MPIs, a list of PD/PI names displays with the Contact PD/PI indicated by the word Contact. Project Title The project title of the grant Navigation 9 July 17, 2015

18 Due Date NIH The due date of the progress report for awards issued under the SNAP (Streamlined Noncompeting Award Process) provisions is the 15 th of the month preceding the month in which the budget period ends (e.g., if the budget period ends 11/30, the due date is 10/15). If the award is not issued under SNAP provisions, the progress report is due the first of the month preceding the month in which the budget period ends (e.g., if the budget period ends 11/30, the due date is 10/1). If the due date falls on a weekend or federal holiday, the due date is automatically extended to the next business day. Progress reports for Fellowships are due two months before the beginning date of the next budget period. Occasionally the Notice of Award (NoA) will indicate a different due date which will supersede these dates. Grantees should consult the NoA to determine when SNAP procedures apply. AHRQ All AHRQ progress reports due in FY 2015 (10/1/14 9/30/15) and beyond are due 3 months before the anniversary of the award. For example, for an FY2014 award issued with a start date of 2/1/14, the annual progress report is due 11/1/14 (i.e., three months before the FY2015 budget period start date (i.e. anniversary date) of 2/1/15). If the due date falls on a weekend or federal holiday, the due date is automatically extended to the next business day. Current Reviewer The name of the current reviewer or organization (e.g., PD/PI name, NIH). This value is blank before the RPPR is initiated. Status The current state of the progress report. Possible values are as follows: Not Started, PD/PI Work in Progress, Reviewer Work in Progress, and Submitted to Agency. Buttons The displayed and enabled buttons vary depending on the status of the RPPR and/or the limitations of the current user s role. The possible available actions include the following: Initiate: Begins the RPPR process. Available for grants with a status of Not Started. Access is granted to PD/PIs and PD/PI delegates. An RPPR can be initiated even if required information in the Personal Profile and Institution Profile sections is missing. If any of this information is incorrect or missing, a prompt will appear to correct/complete the information after initiating the report. Processing may continue on the RPPR without making the corrections; however, the RPPR will not pass validations for submission to the agency until the errors are corrected. Edit: Opens the RPPR for edits. Available for progress reports with a status of Work in Progress (WIP). Access is granted to PD/PIs or PD/PI delegates when the PD/PI is the current reviewer, AOs when the AO is the current reviewer, and SOs when the SO is the current reviewer. The Edit button allows the user to view and edit RPPR information. View: Opens the RPPR report in PDF format, as it will be seen by the agency. Available for progress reports with a status of Work in Progress (WIP) or Submitted to Agency. Navigation 10 July 17, 2015

19 Access is granted to PD/PIs, PD/PI delegates, and reviewers. Until the RPPR is submitted to agency, the PDF report shows a status of Draft and a blank submission date. Check for Errors: Checks the RPPR for any errors or warnings. Available for progress reports with a status of Work in Progress (WIP). Access is granted to any user with access to the grant. The RPPR can be validated at any time while in the status of WIP and can be validated multiple times. View Routing History: Opens a page that displays a routing history table. Available for progress reports with a status of Work in Progress (WIP) or Submitted to Agency. Access is granted to PD/PIs, PD/PI delegates, and reviewers. Route: Routes the RPPR to the next reviewer for further review or corrections. Available for progress reports with a status of Work in Progress (WIP). Access is granted to the current reviewer. A PD/PI delegate cannot route an RPPR to the next reviewer. Recall: Recalls RPPRs that have been forwarded to another reviewer and resets the user as the current reviewer. Available for reports with a status of Work in Progress (WIP). Access is granted to the last reviewer (who recalls the report from the current reviewer). Signing Officials and PD/PIs can recall an RPPR even if they are not the last reviewer whenever it has a status of Reviewer Work in Progress. This is useful in situations when a RPPR has been routed to the wrong person or to someone who is unavailable. Submit: Submits the RPPR to the Agency. Available for reports with a status of Work in Progress (WIP). Access is granted to the SO when the SO is the current reviewer and to the PD/PI when the PD/PI has been delegated Progress Report authority. NOTE: A PD/PI with Progress Report authority cannot submit a non-snap or F RPPR. Cancel: Closes the RPPR Menu screen and returns the user to the previous screen. 2. Select the Initiate button to begin the RPPR. Figure 7: RPPR Menu for Initiating the Report Once initiated, Commons creates the report in a PD/PI Work in Progress status and sets the current reviewer. A message displays as follows: The RPPR has been successfully initiated. Navigation 11 July 17, 2015

20 NOTE: If at any time initiation fails due to business rules validations, error or warning messages display on the screen. Once initiated, the editing process can begin. The RPPR is accessed for editing via the RPPR Menu screen. The editing feature for single-project RPPRs is different from those of multiproject RPPRs. The steps for accessing each type of RPPR are outlined in the sections that follow. Refer to Accessing a Single-Project RPPR for Editing or Accessing a Multi-Project and Single-Project with Complicated Structure RPPR for Editing as appropriate. 5.2 Edit the RPPR Once an RPPR is initiated, its status becomes PD/PI Work in Progress and it becomes available for editing. The PD/PI or delegate uses the Edit option for viewing and completing the report. Additionally, this option is available to the SO or AO when that user is the current reviewer of the report. NOTE: For RPPRs with multiple PD/PIs (MPI awards), only the Contact PD/PI has access to the Edit feature unless the Contact PD/PI has granted progress report authority to other PD/PIs. Without this authority, MPIs can only view the RPPR PDF and its routing history. There are two means of accessing the progress report for editing. These are similar methods used for initiating the report and are as follows: Access RPPR from Status: a. Select the Status tab from the Commons menu options. b. Select the List of Applications/Grants link from the Status screen. Navigation 12 July 17, 2015

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